Director, Compliance Advisory, Transaction Services (Correspondent Banking)

Director, Compliance Advisory, Transaction Services (Correspondent Banking) Job Details Director, Compliance Advisory, Transaction Services (Correspondent Banking) Job Description Requisition Number: 65354 Job Location: New York, USA Global Grade: Band 5 Work Type: Hybrid Working Employment Type: Permanent Posting Start Date: 06/11/2026 Posting End Date: 07/01/2027 Job Description: Job Summary Primary day to day 2LoD advisory, oversight and challenge in the Correspondent Banking Advisory space as reflected in strategy below. Incumbent is fungible across wider ranging responsibilities (as set forth in this JD) of the CFCR Client Coverage (CC), Transaction Services (TS), Global Banking & Functions Advisory Team. In addition to Correspondent Banking risk management, will lead day to day management of the Customer Due Diligence (CDD) Risk Framework including where applicable, oversight and challenge of the 1LoD KYC function: KYC Policy and Standards development, including Country Addenda CDD and EDD activities (all inclusive) as executed by Branch and Group first line and Group second line DDA Working Group prospective client pipeline and submission Responsible for updating and developing Customer Due Diligence (CDD) policies and standards, including country specific regulations Key Responsibilities Strategy Contribute materially towards the implementation of the vision, strategy and direction of the CIB CC, TS, GB & Functions Advisory team. Contributions should be consistent with the Americas Head, CFCR Advisory, CIB CC, TS, GB & Functions vision and strategy for the team and the strategy of the CFCR function as a whole; both in support of the Bank’s strategic direction and growth aspirations. Continue to improve the Group’s approach towards reducing regulatory and financial crime risks throughout the Americas CIB Client Coverage client lifecycle (from on-boarding to off-boarding) to protect the reputation of the Group and to avoid significant financial loss. Initiate and contribute to the overall risk and control enhancements to the Correspondent Banking program for SCB Americas, and where requested, Transaction Services and Client Coverage. Business Develop a comprehensive foundational understanding of the business model and strategy in order to provide substantive required oversight support and challenge in order to enable appropriate and sustainable CFCR outcomes. Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives. Provide robust challenge to senior management and all relevant business stakeholders where activities are outside risk tolerance/ appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance/ appetite. Provide and communicate timely CFCR- related advice, analysis (and challenge when appropriate) in relation to CIB Client Coverage and Transaction Services including product design through to post sale reviews / assessments, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), and transactional advice. Support the maintenance of global CFCR standards in accordance with standards set by senior management. Support the maintenance and refresh of relevant CFCR frameworks applicable to CIB Client Coverage and Transaction Services. Processes Drive the governance and oversight over the implementation of CFCR- related policies and procedures with respect to CIB Client Coverage, Transaction Services (to enable compliance with such policies and procedures). Support efforts to establish and maintain effective processes (including training, advice and support) to ensure that policies and standards to address CFCR risk are effectively implemented across CIB Client Coverage, Transaction Banking. Support the provision of second line challenge to processes owned by CIB Client Coverage, Transaction Services. Develop and maintain effective policies/processes/DOIs, where required and/or deemed necessary (including training, advice and support) to address CFCR risks across CIB Client Coverage, Transaction Services, aligning with relevant regulatory requirements. Provide support and challenge to the relevant Business stakeholders e.g. COO teams to ensure that they establish and monitor appropriate processes for compliance with CFCR policies and standards (including meeting regulatory obligations and maintaining high standards of conduct). Support and/or perform analysis on individual clients to understand thematic risks, strength of their control environment, underlying client base and level of risk; this includes reviews of Suspicious Activity Reports (SARs) and other risk metrics and data as appropriate People & Talent Role model and assist the Americas Head of CFCR Advisory, CIB Client Coverage, Transaction Services, Global Banking & Functions to build the appropriate culture and values. Set appropriate tone and expectations within the team and work in collaboration with risk and control partners. Contribute to promoting and embedding a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm. Contribute to instilling an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm. Assist in the provision of ongoing training and development to ensure that team members are competent, suitably skilled and qualified for their roles. Provide constructive developmental feedback at business, function, country and individual level as appropriate, on CFCR matters. Contribute materially towards the migration of skill, knowledge, best practice and lesson learned across the network between CFCR Advisory and Centre of Expertise colleagues especially in relation to legal/regulatory risks and compliance with relevant regulations and internal policies/standards as they pertain to CIB Client Coverage and Transaction Services. Collaborate with training teams, where requested or deemed necessary, to input into training curriculum to support closing of capability gaps and to meet the training needs of CIB Client Coverage, Transaction Services & Functions. Risk Management Support efforts to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business. Support efforts to ensure the effective management of CFCR matters, management of regulatory issues that have a significant impact on the Bank and support relevant stakeholders to respond to regulatory questions. In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure appropriate and timely escalation within the Group and that actions are taken quickly to remediate and/or activities are ceased. Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks impacting CIB Client Coverage, Transaction Services, and Functions. Collaborate with other CFCR teams to support a programme for conduct, financial crime and compliance monitoring, surveillance and/or assurance for CIB Client Coverage, Transaction Services and Functions. Contribute to the management of MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters relating to CIB Client Coverage, Transaction Banking, and Functions are tracked, followed, regularly assessed and reported on including oversight of risk acceptance and/or mitigating action plans, identification and management of high-risk clients or specific country reviews relating to CIB Client Coverage, Transaction Services, and Functions. Play an integral role in the effective management of CFCR Advisory matters, and in collaboration with the rest of the CFCR team, effectively manage regulatory issues that have a significant impact on the Group including but not limited to conflicts of interest, cross –border and onshore/offshore transactional support and control (in partnership with Cross Border (XB) and Conflict of Interest (COI) Compliance teams). Assist and work closely with the Group Shared Investigation Services team in relation to investigations concerning CIB Client Coverage and Transaction Services. Provide robust challenge to and maintain oversight of risk acceptance and/or mitigating action plans relating to CIB Client Coverage and Transaction Services where CFCR is the Risk Framework Owner (RFO). Taking a leading role in the proposal of control improvements, enhancements and simplifications relating to CIB Client Coverage and Transaction Services processes that manage CFCR risk, where appropriate. Collaborate with relevant business and CFCR stakeholders to work towards holistic risk management across client segments / products risks. Assist the Americas Head of CFCR Advisory, CIB Client Coverage, Transaction Services, Global Banking & Functions to provide reports to relevant risk and control committees and management group on key CFCR risks and issues pertaining to CIB Client Coverage, Transaction Services, and Functions. Support the annual Compliance Risk Assessment by executing risk assessments for assigned Assessment Units. Provide intelligence (to internal forums) on specific clients, client-types and emerging risk typologies, and to support the calibration of bank’s Risk Methodologies (including aggregate client risk, product risk and country risk assessments). Ensure a full understanding of the risk and control environment in area of responsibility. Governance Drive the identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework. Support the management of end-to-end life cycle of audit, assurance and regulatory reviews, in relation to CIB Client Coverage, Transaction Services, and Functions, including tracking, remediation and preparing lessons learned from such reviews. Develop control effectiveness and efficiency improvements and simplifications where appropriate. Develop or assist in developing and recommend (for approval by the relevant Risk Committee and/or individuals), appropriate compliance policies and standards to manage CFCR risk in CIB Client Coverage, Transaction Services, and Functions. Have awareness and understanding of the regulatory framework in which the firm operates, and the regulatory requirements and expectations relevant to the role Deliver effective governance’; challenge fellow executives effectively; and work with local regulators in an open and cooperative manner. Project/Change Management Assist, where required, from a CFCR perspective in the review of new business requirements and provision of solutions for CIB Client Coverage, Transaction Services, and Functions. Support key change programmes and projects for CFCR Advisory, CIB Client Coverage, Transaction Services, and Functions. Skills and Experience Business Acumen Business Ethics CFCR Risk Type Advisory Cross-functional Collaboration Managing Change Organizational Governance Regulatory Environment - Financial Services Risk Management Planning: Tactical, Strategic Data gathering and reporting Compliance Policies and Standards Compliance Advisory Regulatory Liaison Qualifications • Education: Bachelor’s degree in a control related discipline, Business, Finance, Economics or related field of study, from an accredited institution

• Graduate degree will be viewed positively
• Training: At least 7 years of global banking experience including at least 5 years of correspondent banking experience
• 5+ years of direct experience in Financial Crimes Compliance, with sound understanding of the current environment and key issues, within the Banking/Financial Services industry, specifically in the context of the Correspondent Banking risk.
• Certifications: CAMS Certification will be viewed positively

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